-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K+uTh6b/1VQTULrjtITEj/WjB3QD6NQnO1sJbUDv7ohk+T3tEz3Ip1YuIHtSGrU6 20D7y9mvxSd80iSRgQy7AA== 0001179110-07-020808.txt : 20071102 0001179110-07-020808.hdr.sgml : 20071102 20071102161457 ACCESSION NUMBER: 0001179110-07-020808 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071031 FILED AS OF DATE: 20071102 DATE AS OF CHANGE: 20071102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2018 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NODDLE JEFFREY CENTRAL INDEX KEY: 0001180798 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 071210820 BUSINESS ADDRESS: STREET 1: 11840 VALLEY VIEW RD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 BUSINESS PHONE: 9528284173 MAIL ADDRESS: STREET 1: 11840 VALLEY VIEW ROAD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 4 1 edgar.xml FORM 4 - X0202 4 2007-10-31 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001180798 NODDLE JEFFREY GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 0 0 0 Phantom Stock (Annual) 2007-10-31 4 A 0 295.415 0 A Common Stock 295.415 5412.844 D Phantom Stock (Retainer Deferral) 2007-10-31 4 A 0 492.359 63.47 A Common Stock 492.359 3088.846 D Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Phantom shares acquired represent prorated increase in annual award. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors. /s/ Thomas R. Moore for Jeffrey Noddle 2007-11-02 -----END PRIVACY-ENHANCED MESSAGE-----